DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
W•••• C•••••• P••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Nov 11, 2013 · 38 filings
SEC status approved since Nov 19, 2013
RAUM
$75.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$72.4M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$15.0M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$65.1M as of Apr 30, 2026
Mar 31, 2014$41.0M then
HNW client RAUM$51.6M as of Apr 30, 2026
Nov 8, 2017$22.0M then
State-registered IARs (5.B.3)5 as of Apr 30, 2026
Mar 31, 20142 then
Employees (5.A)5 as of Apr 30, 2026
Mar 31, 20142 then
Private funds: no history
RAUM +2.8% over the last fiscal year+3.6% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $15.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $330,386derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$65.3M87%
- Individuals$7.1M9.4%
- Corporations and businesses$2.6M3.5%
- Individual clients
- 32reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 227reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• T••••• T••••• | New York, Ny | Feb 23, 2026 | 32 y | 6 |
| M•••••• M•••••• G••••• | New York, Ny | Feb 24, 2026 | 34 y | 5 |
| T• R•••••• B••••••• | Hudson, Ny | Feb 25, 2026 | 29 y | 3 |
| F••••••• W•••• | New York, Ny | Mar 2, 2026 | 32 y | 2 |
| T••••• W•••• W••••Chartered Financial Analyst | New York, Ny | Mar 20, 2026 | 30 y | 3 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount3 left over 36 months
Left, latest
- T• R•••••• B••••••• to A••••••••• A•••• A•••••••• L••Dec 31, 2025 · RIA to a state-registered adviser
- J••• T••••• P•••••• to W••••••••• I••••••••• A•••••••• L••Jun 21, 2024 · RIA to RIA
- E••• D••• to W••••••••• I••••••••• A•••••••• L••Jun 21, 2024 · RIA to RIA
- J•••• A• M•••••• to K••••• A••••••• S•••••••• L••Jul 1, 2021 · RIA to affiliated broker-dealer or bank
- D•••• F••••• W••••• to S••••••• A•••••••May 28, 2020 · RIA to RIA
- Z•••••• P•••••• G•••••• to F••••• I•••••••••Aug 28, 2019 · RIA to RIA
Joined, latest
- E••• D••• from T•• M••••••••• I••Jun 22, 2023 · RIA to RIA
- J•••• A• M•••••• from S•••••• N••••••• • C••••••• I•••••••••Aug 1, 2019 · Affiliated broker-dealer or bank to independent RIA
- S••••• T••••• T••••• from A••••••• A•••• M••••••••• L••May 28, 2019 · RIA to RIA
- M•••••• M•••••• G••••• from A••••••• A•••• M••••••••• L••Oct 8, 2018 · RIA to RIA
- J••• T••••• P•••••• from P•••• W••••••• A•••••••• I•••Jun 14, 2018 · Other
- T• R•••••• B••••••• from E••••• J••••Jan 30, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••••••• I••••••••• A•••••••• L••Jun 21, 2024 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• T•••••• W•••• · Managing Member Ccocontrolsince 12/2008 · owns 75% or more
- G•••••• M••••••• M•••••• · Senior Wealth Managersince 06/2019 · owns less than 5%
- P••••••• J•••• T••••• · Membersince 01/2018 · owns 5% to 10%
- S•••••• H•••• W• · Investorsince 01/2018 · owns less than 5%
- T•••••• S•••••• T••••• · Senior Wealth Managersince 06/2019 · owns less than 5%
- W••••• F••••••• · Membersince 12/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 5 | 5 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Apr 30, 2026accounts (Item 5.F.2.f) moved from 405.0 to 73.0 (-82.0%) between the annual amendments of 2025-03-10 and 2026-04-30; the peer median change was +2.0% (136 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, under $100M (136) · 3.0% percentile
Data quality: RAUM $67,523,000 then $423,933,314 then $72,938,892 on consecutive annual amendments (2024-03-29, 2025-03-10); the middle value is likely a filing error
What changed
consecutive filings, newest first
- Accounts · 73 to 227Apr 30, 2026 to Sep 9, 2026
- HNW clients · 29 to 33Apr 30, 2026 to Sep 9, 2026
- Individual clients · 43 to 32Apr 30, 2026 to Sep 9, 2026
- Financial planning clients · 1-10 to 1-10Apr 30, 2026 to Sep 9, 2026
- HQ city · to unsetApr 30, 2026 to Sep 9, 2026
- HQ state · to unsetApr 30, 2026 to Sep 9, 2026
- Discretionary RAUM · $65.0M to $75.0MApr 30, 2026 to Sep 9, 2026
- HNW RAUM · $51.6M to $65.3MApr 30, 2026 to Sep 9, 2026
- Individual RAUM · $11.1M to $7.1MApr 30, 2026 to Sep 9, 2026
- Non-discretionary RAUM · $74,515 to $0Apr 30, 2026 to Sep 9, 2026
- RAUM · $65.1M to $75.0MApr 30, 2026 to Sep 9, 2026
- Related adviser · false to unsetApr 30, 2026 to Sep 9, 2026
- Related bank · false to unsetApr 30, 2026 to Sep 9, 2026
- Related broker-dealer · false to unsetApr 30, 2026 to Sep 9, 2026
- Related insurance company · false to unsetApr 30, 2026 to Sep 9, 2026
- Succession · false to unsetApr 30, 2026 to Sep 9, 2026
- Accounts · 405 to 73Feb 10, 2026 to Apr 30, 2026
- HNW clients · 31 to 29Feb 10, 2026 to Apr 30, 2026
- Individual clients · 65 to 43Feb 10, 2026 to Apr 30, 2026
- Discretionary RAUM · $72.9M to $65.0MFeb 10, 2026 to Apr 30, 2026
- HNW RAUM · $48.5M to $51.6MFeb 10, 2026 to Apr 30, 2026
- Individual RAUM · $22.0M to $11.1MFeb 10, 2026 to Apr 30, 2026
- Non-discretionary RAUM · $0 to $74,515Feb 10, 2026 to Apr 30, 2026
- RAUM · $72.9M to $65.1MFeb 10, 2026 to Apr 30, 2026
- Financial planning clients · 1-10 to 1-10Mar 10, 2025 to Jul 30, 2025
- Accounts · 444 to 405Jun 21, 2024 to Feb 14, 2025
- Corporate clients · unset to 2.0Jun 21, 2024 to Feb 14, 2025
- HNW clients · 66 to 31Jun 21, 2024 to Feb 14, 2025
- HQ city · unset to Jun 21, 2024 to Feb 14, 2025
- HQ state · unset to Jun 21, 2024 to Feb 14, 2025
- Discretionary RAUM · $100M to $72.9MJun 21, 2024 to Feb 14, 2025
- HNW RAUM · $94.9M to $48.5MJun 21, 2024 to Feb 14, 2025
- Individual RAUM · $5.1M to $22.0MJun 21, 2024 to Feb 14, 2025
- RAUM · $100M to $72.9MJun 21, 2024 to Feb 14, 2025
- Accounts · 1,213 to 444May 13, 2024 to Jun 21, 2024
- Advisory employees · 6 to 5May 13, 2024 to Jun 21, 2024
- Advisory activities · 4 to 3May 13, 2024 to Jun 21, 2024
- Charity clients · 3.0 to unsetMay 13, 2024 to Jun 21, 2024
- Corporate clients · 4.0 to unsetMay 13, 2024 to Jun 21, 2024
- HNW clients · 89 to 66May 13, 2024 to Jun 21, 2024
Signals
7 dated events
- T• R•••••• B••••••• left W•••• C•••••• P••••••• L•• for A••••••••• A•••• A•••••••• L•• (registered 2026-02-25)Dec 31, 2025 · Advisor changed firm · fact
- E••• D••• left W•••• C•••••• P••••••• L•• for W••••••••• I••••••••• A•••••••• L•• (registered 2024-05-09)Jun 21, 2024 · Advisor changed firm · fact
- J••• T••••• P•••••• left W•••• C•••••• P••••••• L•• for W••••••••• I••••••••• A•••••••• L•• (registered 2024-06-19)Jun 21, 2024 · Advisor changed firm · fact
- W•••• C•••••• P••••••• L•• reported RAUM $100.0M, down 76% from $423.9M (2024-05-13 to 2024-06-21)Jun 21, 2024 · RAUM change · derived
- 2 advisors left W•••• C•••••• P••••••• L•• (New York, NY) for W••••••••• I••••••••• A•••••••• L•• on the same dayJun 21, 2024 · Team lift-out · derived
- W•••• C•••••• P••••••• L•• reported RAUM $395.8M, up 239% from $116.8M (2023-08-14 to 2023-10-26)Oct 26, 2023 · RAUM change · derived
- W•••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Nov 11, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 212-879-0954reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/watts-capital-partners/mycompany/?viewAreportedpublic record, Form ADV, Sep 18, 2026
- Website
- W••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-879-0954reportedpublic record, Form ADV, Sep 9, 2026
- Team page
- wattscapital.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $15.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026